Trainings at this Step

Basic Records & Information Management and Your Responsibilities - for all  divisional Records & Information Management team members

Outputs at this Step

• Ensuring the appropriate individual is in place as the division or unit’s records custodian.

• Identifying any records liaisons who will work with the records custodian.

• Forming a RIM team with the custodian(s) and any liaisons, as well as other members of the division or unit as appropriate, including any data stewards or other individuals whose work has significant overlap or interaction with data, information, or records within the division.

• Team members complete the initial RIM overview and record identification training individually or as a group.

What this step looks like at the department level

• The Executive Director has officially designated the Director of Records Management as responsible for the agency’s Records Management Program.

• Specialized training is available and, in some instances, required for individuals involved in the departmental or division/office-level records & information management teams.

• There are ongoing quarterly records & information management collaborative meetings for one or more records custodians and/or liaisons from each division or office.

What this step looks like at the division level

• The Senior Director identifies the Records Custodian for each division or section—typically a division director or high-level manager—to implement the Records Management Program within their area. This role also has primary responsibility and accountability for the records within the division or section. 

  • The Records Custodian is the primary point of contact and liaison with department-level records management work and the Director of Records Management in completing division or section-level work in the implementation of the Records & Information Management Program.

  • The Records Custodian can designate one or more Records Liaisons to whom they can delegate the functions of the role; however, primary accountability for the division’s records cannot be delegated.

• The Records Custodian, or if any duties have been delegated, the Records Liaison(s) has responsibility for:

  • Carrying out the remaining steps of implementing an active division-level records management program;

  • Identifying potentially responsive division records or other individuals who may hold responsive records within the division to any CORA requests received and

  • Identifying everyone within the division who may hold materials responsive to a litigation hold, including:

    • Ensuring those individuals understand their responsibilities as part of the litigation hold as long as it remains active;

    • Advising the Attorney General’s Office and the Director of Records Management (or the Tax Conferee Director for tax-related matters) the names of anyone in the division who may hold responsive records to a litigation hold who was not listed initially on the hold;

    • Advising OIT and the Director of Records Management (or the Tax Conferee Director for tax-related matters) if someone subject to an active litigation hold departs the division; and

    • Working with any individual subject to an active litigation hold before their departure to ensure all materials they may be maintaining as part of that hold are maintained and transferred to their successor or another responsible party within the division.

Trainings at this Step

Conducting Records Inventories - for all  divisional Records & Information Management team members

Outputs at this Step

• Records Inventory Worksheet for each record series

• Inventory Report Spreadsheet

What this step looks like at the department level

• Resources will be provided to support divisions in identifying both physical and electronic records and capturing key information about those records, including their classification and location, consistently in inventory lists.

• In addition to training on this process, the Director of Records Management will provide the Records Custodian with a Records Inventory Worksheet for each Records Series within the division.

• The Director of Records Management will compile a Departmental Records Inventory.

• The Departmental Records Inventory will be provided to the CORA Team to help manage and appropriately assign CORA requests to divisions.

What this step looks like at the division level

• The Records Custodian and any Records Liaisons will complete training about the records inventory process.

• The Records Custodian and any Records Liaisons will identify the Records Series maintained within their division. The Director of Records Management is available to consult if there are questions or uncertainty about these series.

• The Director of Records Management will provide a Records Inventory Worksheet for each Records Series within the division, which the Records Custodian or delegate will complete.

• The Records Inventory will identify for each subject record:

  • If it is an original or duplicate record;

  • Whether it is maintained physically or electronically;

  • Its location;

  • Its classification and

  • Any protections.

  • For electronic records, also identify:

    • File naming structure, if any; 

    • What system(s) records are maintained within, and

    • Any associated metadata that has been applied to the records.

Trainings at this Step

Reviewing or Creating Your Records Retention Schedule - for all  divisional Records & Information Management team members

Outputs at this Step

• Divisional Records Retention Schedule/SA 194

• Historical Records List

What this step looks like at the department level

• The Records & Information Management Intranet section includes links to the current adopted State Retention Schedule as approved by State Archives.

• The Director of Records Management is available to consult with divisions on how to apply the retention schedule appropriately to their records and to help advise when, based on a division's business needs, it may be preferable to pursue an amendment to the adopted Schedule for a particular record series.

• The Director of Records Management will work with State Archives to pursue any needed changes, corrections, or additions to the adopted State Retention Schedule. 

• The Director of Records Management will submit all updated SA194s to State Archives for final approval. 

What this step looks like at the division level

• The Records Custodian and/or Records Liaisons will review the State Retention Schedule and identify whether it meets their division’s current business needs for maintenance of its records series.

• The Records Custodian and/or Records Liaisons will submit any needed changes, corrections or additions to the State Retention Schedule to the Director of Records Management.

• The Records Custodian will review any existing SA194s for the division and will ensure all identified records series maintained by the division are included and properly addressed. Updated SA194s will be submitted to the Director of Records Management.

Trainings at this Step

Applying Agency Records Criteria - for all  divisional Records & Information Management team members

Vital Records Identification and Preservation - for all  divisional Records & Information Management team members

Developing Standard Operating Procedures - for all  divisional Records & Information Management team members

Files Management - for all  divisional Records & Information Management team members

Using Your Records Control Schedule - for all  divisional Records & Information Management team members

Outputs at this Step

• Vital Records List

• Disposition Log

• Divisional Standard Operating Procedures

What this step looks like at the department level

• Train Records Custodians and Records Liaisons on “Applying RIM Program Criteria “ and “Vital Records Identification and Preservation.”

• Provide assistance to divisional Records Custodians and Records Liaisons in evaluating the existing format(s) of records and information being maintained, including making recommendations for changes using RIM Program guidelines.

• The Director of Records Management reviews and approves all requests to dispose of records and, when requested, assists in coordinating shredding services through the Mail Services team. 

Trainings at this Step

Division-Specific Basic Records Management and Your Responsibilities - for all division/section staff

Outputs at this Step

• Divisional Records Management Manual

• Division-specific Training Curriculum